Ethical Complaints Procedure

CCPA Procedures for Processing Complaints of Ethical Violations

Approved by the CCPA BOD on May 24, 2003
Revised by CCPA Board of Directors, November 27, 2004
Revised by CCPA Board of Directors, January 12, 2006
Revised by CCPA Board of Directors, November 4, 2007

The purpose of this document is to facilitate the work of the Ethics Committee by specifying procedures for submitting and processing ethical complaints against members of the Canadian Counselling and Psychotherapy Association.

TABLE OF CONTENTS

• Introduction
• Procedure for Submitting Complaints
• Procedure for Processing Complaints
• Adjudication Panel
• Disposition and/or Resolution Options
• Appeal Procedures
• Procedures for Submitting and Interpreting Questions of Ethical Conduct
• Composition of the Adjudication Panel

A. Introduction

The Canadian Counselling and Psychotherapy Association (CCPA) promotes professional conduct and counselling practices that are consistent with its Code of Ethics and Standards of Practice for Counsellors. If someone is not satisfied with the practices or behaviour of a CCPA member they have the opportunity to complain to the CCPA Ethics Committee. This Committee assists in the arbitration and resolution of ethical complaints. As well, the CCPA Ethics Committee receives and processes questions regarding ethical issues and standards of practice.

CCPA is not regulated by statute and therefore its disciplinary procedures are not subject to the same administrative principles as are tribunals established by legislation. The CCPA is, however, committed to the principle of fairness and the procedures outlined herein are intended to ensure complaints are processed in an equitable fashion having regard to the interests of all parties and the geographical and financial limitations involved.

The Committee will not deal with complaints while the subject matter of the complaint is part of a legal proceeding or when such a proceeding is pending. However, a complaint may be appropriate after any such proceedings are concluded.

A complaint must be lodged within three (3) years of the event which forms the substance of the complaint. This limitation will not apply if legal proceedings have commenced within that time frame.

When the Ethics Committee is made aware of criminal charges against a member that Involve the relationship with his or her clients, the Committee may require the member to accept a limitation on his or her practice, accept supervision, or may impose other limitations deemed reasonable and appropriate under the circumstances and until the charges are dealt with.

When the Chair of the Ethics Committee becomes aware that a member has been convicted of an offence under the Criminal Code or a similar penal statute of another country, or has been suspended by a governing body of an occupational group in a province or territory of Canada or another country for reason of professional misconduct, conduct unbecoming a member of the professional group or professional incompetence, this information shall be acted on by the Ethics Committee as if it were a complaint.

Once a complaint has been received, the Chairperson of the Ethics Committee will notify the complainant as to CCPA procedures for processing complaints of ethical violations and will also notify the member of receipt of the complaint. The Chairperson will notify other members of the Ethics Committee of the complaint within two (2) weeks after receiving it.

The substance of the complaints will be communicated to the fewest people necessary to implement the complaint procedures, and documentation will be confidential to those people and destroyed after three (3) years from the completion of the complaint procedures.

B. Procedures for Submitting Complaints

The CCPA Ethics Committee will act only on those complaints where the member complained against is also a member of the CCPA or was a member at the time of the alleged violation.

Complaints can be made by a member of the public who has received services provided by a CCPA member, and a complaint can also be made by a member of CCPA. The CCPA Ethics Committee acts only on written, signed complaints, with one type of exception; an anonymous complaint will be acted on if the Committee itself can independently and readily observe the basis for such a complaint, such as, a complaint about a counsellor's website, print material, media presentation, and so forth.

The procedures for submission of complaints to the CCPA Ethics Committee are as follows:

1. Whenever feasible, and appropriate, the complainant is encouraged to approach the counsellor directly to discuss and resolve the complaint.
2. CCPA members report their concerns about the conduct of another member to the CCPA Ethics Committee when they fail to achieve satisfactory resolution of the matter with the counsellor concerned, or because the nature of the suspected violation warrants this direct action.
3. Members of the public and CCPA members are reminded that suspected statutory violations by a member, such as, child abuse, should be reported both to the appropriate local authorities and to the CCPA Ethics Committee.
4. In cases where a resolution is not forthcoming following personal contact with the CCPA member, and in instances when personal contact is not feasible and/or inappropriate, the complainant, after receiving complaint procedures from the CCPA Ethics Committee Chairperson, shall prepare a formal written statement of the complaint, stating the details of the alleged violation and shall submit it to the Ethics Committee Chairperson.
5. Written statements must include:
   1. a statement explaining the attempts made to resolve the issues personally or, if not, an explanation of why this step was not feasible or appropriate;
   2. the name of the individual being complained against;
   3. a very detailed and specific statement about the alleged unethical conduct; and
   4. the dates of the alleged violation
6. All complaints shall be mailed to:

Chairperson

CCPA Ethics Committee

Canadian Counselling and Psychotherapy Association

16 Concourse Gate, Suite 600

Ottawa, ON

K2E 7S8

The enveloped must be marked "Confidential."

C. Procedures for Processing Complaints

The procedures for processing complaints are as follows:

1. Within two weeks after a written complaint is received at the CCPA (National Office) the complaint is sent to the Chairperson of the CCPA Ethics Committee. CCPA staff verification of membership for the member complained against shall be included among the documents sent to the Ethics Committee Chairperson.
2. Within two weeks of receipt of the written statement of the alleged violation of ethical practices, the Chairperson will decide if there are reasonable grounds for the complaint and if further investigation is warranted. In the event the complaint is dismissed at this point, the Chairperson will notify the complainant of this decision in writing.
3. If it is determined that further investigation is warranted, the Chairperson of the CCPA Ethics Committee shall:
   1. direct a letter to the complainant acknowledging receipt of the complaint, informing the complainant that the complaint will be investigated by the Committee, and outlining the procedures to be followed in the investigation;
   2. direct a letter to the member complained against informing the member of accusations lodged against her or him, asking for a response and requesting that relevant information be submitted to the Chairperson within thirty (30) days; and
   3. notify members of the CCPA Ethics Committee of the case.

NOTE: A member's response to the Chairperson pursuant to subparagraph 3.2 shall be in writing and signed by the member. The failure of a member to comply with a request by the Chairperson under subparagraph 3.2 may be acted on by the Ethics Committee as a separate complaint.

       4. Within sixty (60) days of notification of the complaint, the CCPA Ethics                     Committee may exercise one or more of the following powers:

1.  
   1. refer the complaint to the Chair of the Ethics Committee for investigation, and when appropriate, resolution of the complaint to which both the complainant and member agree. Whenever such a resolution is achieved, it shall be referred back to the Ethics Committee for consideration and approval;
   2. conduct an investigation itself, by way of a teleconferenced meeting of members of the Ethics Committee. During such an investigation, the Ethics committee shall discuss the information received from the complainant and the member complained against, and, at their discretion, interview the complainant and the member complained against, in an attempt to reach a resolution to which both parties can agree, the Committee may seek agreement to any of the sanctions as listed in the Disposition and/or Resolution Options section of this document; or
   3. when the CCPA Ethics Committee is of the opinion there are no reasonable grounds to believe the member has acted unethically, the Committee shall dismiss the complaint and give notice in writing of the dismissal to the complainant and the member;
   4. when the complaint is not dismissed by the Ethics Committee and when a satisfactory resolution cannot be reached, the Ethics Committee shall refer the complaint to a three member Adjudication Panel.

 

D. Adjudication Panel

The Chair of the CCPA Ethics Committee shall take steps to constitute a three (3) member Adjudication Panel from the five (5) CCPA members who have previously agreed to serve in this capacity, and then will refer the unresolved ethical complaint to it. The Adjudication Panel shall conduct itself as follows:

1. It will require the member to participate in a hearing before the Panel, by way of teleconference, to answer the complaint;
2. Neither the member nor the complainant will be entitled to legal representation before the Panel during a teleconferenced hearing, however, each will be entitled to have a support person present who may, where appropriate, speak on their behalf.
3. The Panel hearing will normally follow this sequence:
   1. the Chair of the Panel invites the complainant to present a short verbal summary;
   2. the Chair invites the member complained against to present summary of his or her response to the complaint;
   3. the complainant and the member complained against are allowed to ask each other questions;
   4. the Panel members ask questions and seek clarification;
   5. the Panel may hear witnesses for both the complainant and the member complained against and all present may question the witnesses;
   6. at the end, the complainant and member complained against have an opportunity to summarize their position;
   7. following a hearing, the Adjudication Panel shall decide whether or not a member's conduct is unethical and dispose of the matter in accordance with the following Disposition and/or Resolution Options and shall communicate its decision to the member, the complainant, and the Chair of the Ethics Committee, within thirty (30) days (as of January 1, 2008)..

E. Disposition and/or Resolution Options

1. Where the Adjudication Panel is of the opinion there are no reasonable grounds to believe the member has acted unethically, it shall dismiss the complaint and give notice in writing of the dismissal to the complainant, the member, and the Chair of the Ethics Committee.

2. Where the Adjudication Panel is of the opinion that the complaint is justified and that the member's conduct is unethical, the Panel shall notify the member and the complainant of this determination, and ask the member to cease and desist the practice either with or without the imposition of further sanctions. Should the Panel determine that further sanctions are necessary, such sanctions could include:

1. the issuance of a time-limited reprimand with recommendations for corrective action, subject to review by the Adjudication Panel;

2. the placement of the member on probation for a specified period of time, subject to review by the Adjudication Panel;

3. the placement of the member on probation and the specification of conditions that must be met before the probation is lifted. These conditions could include one or more of the following:

1.  
   1. make restitution to the complainant or other persons affected by the conduct of the member;
   2. obtain appropriate help, that may include medical treatment, counselling, treatment for substance abuse, and so forth;
   3. engage in a continuing education program;
   4. restrict the member's counselling practice or permit continuing practice under certain conditions, such as supervision;
   5. require the member to report on compliance with the condition and to authorize others involved in his or her treatment or supervision to report on it.

4. the imposition of other conditions that are just and reasonable in the circumstances;

5, the withdrawal of membership in the CCPA, and/or certification for a specified period of time;

6. the expelling of the member from the CCPA permanently.

3. At the conclusion of the deliberations of the Adjudication Panel, the Chairperson shall notify the member, the complainant, and the Chair of the Ethics Committee, of the Panel's decision, in writing. All of the written evidence and a summary of the decision of the Panel, as well as that of the Ethics Committee, shall be forwarded to, and secured at, the CCPA National Office.

F. Appeal Procedures

Both the member, as well as the complainant, have the right to appeal decisions of the CCPA Ethics Committee and the Adjudication Panel. However, appeals will be heard only when substantive evidence is presented that could call into doubt the appropriateness of a decision and/or that there could have been a failure with procedures consistent with the principles of natural justice.

The following procedures shall govern appeals:

1. A three (3) member Appeal Committee is established, composed of the President, President-Elect and Past-President of CCPA or his/her designate.
2. The appeal, with supporting documentation, must be made in writing within sixty (60) days to the President of the CCPA and indicate the basis upon which it is made.
3. The Appeal Committee shall review all materials considered by the CCPA Ethics Committee or the Adjudication Panel. The Appeal Committee can, at its discretion, interview the member complained against and the complainant.
4. Within sixty (60) days the Appeal Committee shall submit a written decision regarding the appeal from the following alternatives:
   1. support the decision of the CCPA Ethics Committee or Adjudication Panel;
   2. reverse the decision of the CCPA Ethics Committee or Adjudication Panel;
   3. impose a different disposition or resolution.
   4. The parties to the appeal shall be advised of the action in writing.

G. Procedures for Submitting and Interpreting Questions of Ethical Conduct

1. Whenever possible, the questioner is first advised to consult other colleagues when seeking an explanation or interpretation to questions regarding some appeal of the CCPA Code of Ethics and/or Standards of Practice for Counsellors or its application to a particular circumstance.
2. If a national level response is deemed appropriate, the questioner shall prepare a written statement, detailing the matter in question. Statements should include a detailed description of the concern. Questions are forwarded to CCPA National Office to be sent to the Ethics Committee Chairperson.
3. The Ethics Committee Chairperson shall direct a letter to the questioner acknowledging receipt of the question, informing the member that the question will be answered by the CCPA Ethics Committee, and outlining the procedures to be involved in the development of a response.
4. The CCPA Ethics Committee will review and develop a response to the question and, if requested by the questioner, make recommendations for appropriate conduct.

H. Composition of the Adjudication Panel

The President of the Canadian Counselling and Psychotherapy Association (CCPA) or his/her designate will appoint five CCPA members who agree to serve on an Adjudication Panel when requested to do so by the Chair of the CCPA Ethics Committee.

1. Of the five CCPA members first appointed to serve on the Adjudication Panel, three will be appointed for a period of two years and two for a period of one year and all subsequent appointments will be for a period of two years.
2. Notwithstanding the expiry of his or her term, a member appointed to serve on the Adjudication Panel continues to be a member until he or she is reappointed or a replacement is appointed.
3. Persons appointed to serve on the Adjudication Panel may be reappointed.
4. For the purpose of dealing with a complaint referred to it by the CCPA Ethics Committee, the Adjudication Panel will be constituted by any three members from the five members appointed as per clause 1 agreeing to serve on the Panel.
5. The Adjudication Panel shall select its Chairperson.